Job Description

Our client, a leading Canadian banking institution, is looking for operations officers to join their Authorizations team, which provides support to Direct Investing clients. We are looking for individuals with investment industry experience with a focus on investment banking regulations. Applicants registered with IIROC are preferred.

The successful candidate must have a passion for problem solving, analyzing and exceptional customer service skills with a Can Do attitude. The candidate should have an understanding of Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) as well as the investment industry and its regulatory nature as it pertains to client onboarding.

As a member of the DI WCO Authorizations team the Officer is responsible for the review and signoff of personal new account applications submitted through the Wealth Client Onboarding (WCO) system for Direct Investing clients.

New account documentation is reviewed to ensure completeness and adherence to regulatory requirements (AML, IIROC), legal, and taxation (QI/FATCA/CRS) requirements.

Work closely with partners in Wealth to ensure all accounts are reviewed and opened in a timely manner.

Respond to telephone and email inquiries in an efficient and professional manner.

Demonstrate clear understanding of business and regulatory requirements to the partner and provide available options for resolution

Working within a team and with business partners to achieve common goals and objectives, contributing to a positive team environment.

Contribute to the overall productivity of the team by maximizing individual efficiency, productivity, availability and flexibility.

Job requirements:

Note: Preference will be given to individuals who are already registered with IIROC.